Get the free Form ADV Part 2A Firm Brochure - bfoundcapbbcomb

Item 1 Cover Page 340 E. Randolph Street Suite 3801 Chicago, IL 60601 Mailing Address Foundry Capital Management LLC PO Box 5901 Arlington, VA 222050901 ×973× 9368632 www.foundcap.com Form ADV Part

How to fill out form adv part 2a

How to fill out Form ADV Part 2A:

1. Start by clearly identifying your firm: Provide the full legal name, business address, and contact information of your investment advisory firm. Include any other names your firm uses or has used in the past.
2. Disclose your firm's ownership: Specify the ownership structure of your firm, including any parent companies or subsidiaries. Indicate the percentage of ownership held by each person or entity.
3. List your firm's key personnel: Provide information about the individuals who are responsible for managing or supervising your firm's investment advisory activities. Include their names, positions, and a brief description of their educational and professional backgrounds.
4. Outline your firm's business: Describe the types of advisory services your firm offers, as well as any investment strategies and methods of analysis used. Indicate whether your firm specializes in any particular areas, such as retirement planning or socially responsible investing.
5. Disclose any disciplinary history: If your firm or any of its key personnel have a disciplinary history, provide details about the events or actions that led to disciplinary action. This includes any sanctions, suspensions, or revocations of licenses.
6. Detail your fee structure: Explain how your firm charges fees for its services. Disclose whether fees are based on a percentage of assets under management, a fixed fee, or another arrangement. Include any additional fees or expenses clients may incur.
7. Discuss potential conflicts of interest: Identify any conflicts of interest that could arise between your firm and its clients. This may include personal trading activities, affiliations with other companies, or any financial arrangements that could impact your ability to act in your clients' best interests.
8. Provide information about your firm's code of ethics and disciplinary procedures: Explain your firm's code of ethics and standards of conduct. Describe how your firm addresses conflicts of interest and ensures compliance with applicable laws and regulations.
9. Offer additional information: Include any other information that may be relevant to clients, such as your firm's client referral arrangements, the use of third-party custodians, or any required disclosures specific to your jurisdiction.

Who needs Form ADV Part 2A?

Any investment adviser registered with the Securities and Exchange Commission (SEC) or state securities regulators needs to complete Form ADV Part 2A. This form is an essential component of the registration process and provides important information to current and potential clients about the adviser's services, fees, and potential conflicts of interest. Additionally, certain exemptions or exclusions from registration may require the submission of Form ADV Part 2A as well. It is crucial for advisers to understand the regulatory requirements and complete the form accurately to comply with disclosure obligations and maintain transparency with their clients.

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What is form adv part 2a?

Form ADV Part 2A is a document that registered investment advisers must use to provide information to clients regarding their services, fees, and potential conflicts of interest.

Who is required to file form adv part 2a?

Registered investment advisers are required to file Form ADV Part 2A.

How to fill out form adv part 2a?

Form ADV Part 2A can be filled out online through the Investment Adviser Registration Depository (IARD) system.

What is the purpose of form adv part 2a?

The purpose of Form ADV Part 2A is to provide clients with important information about the services offered by an investment adviser, including fees, conflicts of interest, and disciplinary history.

What information must be reported on form adv part 2a?

Form ADV Part 2A requires investment advisers to disclose information about their business practices, fees, conflicts of interest, and disciplinary history.